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Fifth Circuit holds SEC’s in-house courts and judges unconstitutional

USA - May 23 2022 In Jarkesy v. Securities and Exchange Commission, the Court of Appeals for the Fifth Circuit issued a remarkable opinion holding numerous aspects of…

Julia D. Alonzo

SEC Risk Alert Highlights Renewed Focus on Insider Trading and MNPI Policies and Procedures for Fund Managers

USA - May 5 2022 Last month, we predicted that a renewed focus by the SEC on insider trading, MNPI and related internal controls would be one of the Top Ten…

2021 SEC enforcement results - Takeaways for fund managers

USA - November 23 2021 On November 18, 2021, the SEC’s Division of Enforcement announced its Enforcement Results for Fiscal Year 2021, and there are a few key takeaways for…

Samuel J. Waldon

SEC is exploring reforms regarding private fund disclosure of conflicts of interest and fees and expenses

USA - September 20 2021 On September 14, 2021, U.S. Securities and Exchange Commission Chair Gary Gensler testified before the Senate Committee on Banking, Housing, and…

Samuel J. Waldon

SEC brings first enforcement action against alternative data provider

USA - September 16 2021 On September 14, 2021, the Securities and Exchange Commission (“SEC”) filed a settled securities fraud action against App Annie Inc., one of the…

Robert G Leonard, Jeffrey Neuburger, Samuel J. Waldon